Investment adviser · CRD 116515
BATES FINANCIAL ADVISORS, INC.
Investment adviser filing (IA)
ROCKFORD, IL, United States · Form ADV filed Jun 25, 2026
- Regulatory AUM
- $439M Form ADV · Item 5.F
- Client accounts
- 1,273 Accounts, not individual clients
- Employees
- 5 Reported in this filing
- Advisory professionals
- 5 Investment advisory functions
Who they report serving
Form ADV · Item 5.DClient types and their share of reported regulatory assets.
| Client type | Clients | Regulatory assets | Share of AUM |
|---|---|---|---|
| High-net-worth individuals | 130 | $311,843,128 | 71.0% |
| Individuals | 267 | $126,160,775 | 28.7% |
| Charities | Fewer than 5 | $1,207,849 | 0.3% |
Filing source
Form ADV 2110010 · Jun 25, 2026 · Item 5.D
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
Private funds & service providers
0 Private fundsThe count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.
This filing answers No to private funds.
Services & filing details
Most recent filing: Jun 25, 2026. View historical filings
Reported services
Financial planning · Individual portfolio management
Compensation
Percentage of assets · Fixed
Principal office
8437 NORTHERN AVEROCKFORD, IL, 61107, United States
CRD 116515
Filing source
Form ADV 2110010 · Jun 25, 2026 · Items 1 & 5
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.